Investment Compliance Associate, Monitoring
$59,000–$94,500 year
HybridBaltimore, Maryland, United States
Job Summary
Analyze pre-trade, post-trade, and batch compliance alerts in Charles River (CRD) to assess permissibility and identify potential violations. Liaise with trading, legal, and client operations personnel to interpret guidelines and communicate with clients. Monitor manual processes not coded into CRD and actively participate in the Global Client Investment Reporting (GCIR) process. Maintain organized records of alert reviews and escalations while continuously seeking process improvement opportunities. Contribute to rule optimization by identifying trends and supporting automation initiatives to enhance monitoring efficiency.
Required Qualifications
- Bachelor's degree or the equivalent combination of education and relevant experience
- 2+ years of relevant work experience
- Foundational understanding of investment products and security types, such as equities, fixed income instruments, funds, or derivatives, or a demonstrated interest in developing this knowledge
- Familiarity with trading, IBOR, order management, compliance, reporting, or data systems
Desired Qualifications
- Proven analytical skills within the area of investment compliance or a related field
- Strong attention to detail
- Commitment to quality
- Strong customer service orientation
- Strong interpersonal skills
- Effective written and oral communications
- Ability to adapt and thrive in a dynamic environment with evolving priorities
- Ability to thrive in a trading-related atmosphere
- Strong organizational skills
- Proficient in handling multiple tasks simultaneously
- Strong research and problem-solving skills
- Team player
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